Eric S. Cott
Professional summary
Eric Spencer Cott, who also goes by Eric Cott, Eric Spencer Cott, is a registered financial advisor currently at REGIMENT SECURITIES, LLC. located in Chicago, Illinois.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1994. Eric has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7TO, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Spencer Cott's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2025 - Present
REGIMENT SECURITIES, LLC.
Office #1: 420 N. Wabash Avenue, Chicago, IL 60611October 1, 2024 - March 19, 2025
VISION 4 FUND DISTRIBUTORS
February 18, 2021 - May 12, 2022
INTERACTIVE BROKERS LLC
February 18, 2021 - May 12, 2022
INTERACTIVE BROKERS CORP.
April 24, 2008 - October 24, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 6, 1996 - April 14, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 1996 - April 14, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 1994 - May 20, 1996
HOPPER SOLIDAY & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/22/2025)
(9/26/2025)
Exams
Series 7TO
Date: 2/3/2021
General Securities Representative ExaminationFINRA
Current Firm
REGIMENT SECURITIES, LLC.
CRD#: 311302 / SEC#: , 8-70607
Contact information
FINRA licenses (33 States and Territories)
Red Flags
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